Articles Tagged with John Palma

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Palma (Palma), previously associated with Spartan Capital Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Palma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $490,000.00 on February 12, 2026.

Alleged alligation; Excessive Trading, Unsuitable Investment Recommendations, Violation of Reg BI

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Palma (Palma), previously associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Palma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 03, 2025.

Negligent, Failure to Supervise , Unjust Enrichment , Violations of Stae Securities Act.